For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
FINRA has amended Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to add an exception from the rule’s requirements for accounts pursuant to Section 530A of the Internal Revenue Code (Trump Accounts). The rule change became effective on June 17, 2026.
The text of the amendment is included as Attachment A.
Questions concerning this Notice should be directed to:
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | College for Financial Planning – a Kaplan Company |
| Qualification and Training Requirements | |
| Prerequisites | None |
| Designation Training Requirements | Online, self-study course; instructor-led option based on availability |
| Designation Exam Type | Online, closed-book final exam |
| Continuing Education Requirements | 16 hours every two years |
| Verification and Complaints | |
| Online Designation Resource | Online at Find a Financial Advisor |
| Investor Complaint Process | Complete complaint form and send it via mail to the College for Financial Planning, Attn: Ethical Conduct Committee, 9000 E. Nichols Ave, Ste 200, Centennial, CO 80112, or fax to 602-626-2466. |
| Published List of Disciplined Designees | None |
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | International Council for Derivative Trading (ICFDT) |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must be employed in investment management, portfolio management, research, trading, risk management, compliance, wealth management, financial technology or a related field. |
| Designation Training Requirements | Optional self-study curriculum or ICFDT-authorized training program |
| Designation Exam Type | Online or in-person, proctored exam |
| Continuing Education Requirements | 20 hours annually |
| Verification and Complaints | |
| Online Designation Resource | Online at CFIA Charterholder Registry |
| Investor Complaint Process | Submit complaints via email to [email protected] |
| Published List of Disciplined Designees | None |